| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook, effective August 1, 2016. |
07/15/2016 |
Certified |
07/29/2016 |
|
1 |
| GFISEF |
Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| TPSEF |
Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. |
08/04/2015 |
Certified |
08/18/2015 |
|
1 |
| RADSEF |
Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. |
04/15/2016 |
Certified |
04/29/2016 |
|
3 |
| BSEF |
Amended schedule |
09/17/2020 |
Certified |
10/01/2020 |
|
2 |
| SWAPX |
SwapEX LLC - Rule Amendments - effective July 15, 2014 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| CBOESEF |
Cboe SEF, LLC is submitting certain changes to its rulebook to, among other things, add a definition of "Minimum Tick Size," clarify the difference between Participant Data and SEF Market Data, and clarify applicable fitness standards. |
01/17/2018 |
Certified |
01/31/2018 |
|
1 |
| NEXSEF |
Amended Fee Program |
07/18/2019 |
Certified |
08/01/2019 |
|
2 |
| IGDL |
Revised Market Maker Program Rulebook |
09/17/2014 |
Certified |
10/01/2014 |
|
3 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-08) |
09/17/2020 |
Certified |
10/01/2020 |
|
1 |
| GTX |
Amendment to Fee schedule. |
02/10/2015 |
Certified |
02/25/2015 |
|
1 |
| GFISEF |
40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
| LGX |
LedgerX Updated BCDR Plan |
06/13/2021 |
Certified |
06/25/2021 |
|
4 |
| IGDL |
Amendments to IDGL's Fee Schedule. |
07/23/2021 |
Certified |
08/06/2021 |
|
2 |
| CBOESEF |
Updates Cboe SEF's governance arrangements. |
07/01/2022 |
Certified |
07/18/2022 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS On-SEF UK/US Crossover Market Maker Program |
08/17/2022 |
Certified |
08/31/2022 |
|
2 |
| CBOESEF |
Rule amendments regarding (a) CFTC No Action Letter 15-24, (b) changes to voice trading procedures, and (c) record retention. |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
| TWSEF |
TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) |
11/18/2015 |
Certified |
12/03/2015 |
|
4 |
| TWSEF |
Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols |
01/15/2016 |
Certified |
02/01/2016 |
|
3 |
| TPSEF |
Amendments to tpSEF's Rulebook and Compliance Manual. |
04/29/2020 |
Certified |
05/13/2020 |
|
2 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker |
08/01/2023 |
Certified |
08/15/2023 |
|
1 |
| TDERIV |
Amendment to Rule 524, will promote trading on trueEX SEF by permitting limited pre-execution communication in respect of orders for Permitted Transactions. TRUSEF #2014-08S |
04/24/2014 |
Certified |
05/09/2014 |
|
1 |
| IGDL |
Fee Schedule |
03/17/2015 |
Certified |
03/31/2015 |
|
1 |
| DWSEF |
DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) |
11/18/2015 |
Certified |
12/03/2015 |
|
4 |
| TWSEF |
Amended TW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-04) |
06/14/2021 |
Certified |
06/28/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook (BSEF-2022-R-06) |
11/18/2022 |
Certified |
12/05/2022 |
|
1 |
| TDERIV |
Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. |
10/05/2015 |
Certified |
10/20/2015 |
|
1 |
| ICAPSEF |
Amended EBS Trading Protocol and Rules 202, 208 and 315 |
12/11/2015 |
Certified |
12/28/2015 |
|
4 |
| DWSEF |
Amended DW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-11) |
10/30/2020 |
Certified |
11/16/2020 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-04) |
06/14/2021 |
Certified |
06/28/2021 |
|
1 |
| TRAD |
Tradition SEF Rulebook and Form SEF Exhibits Q and V Amendments, letter dated January 3, 2014 Trad #14-0001 |
01/03/2014 |
Certified |
01/18/2014 |
|
1 |
| TDERIV |
Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
| BSEF |
Emergency Rule Certification |
02/05/2019 |
Certified |
02/20/2019 |
|
2 |
| BSEF |
Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-05) |
06/14/2021 |
Certified |
06/28/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule amendment - Amended Rulebook, (letter dated November 8, 2013) : Exhibit A, Exhibit B, Exhibit C, Cover Sheet 2013-R-7 |
11/12/2013 |
Certified |
07/29/2014 |
|
1 |
| BGC |
More detail regarding the Voice Work-Up trading process |
01/15/2016 |
Certified |
02/01/2016 |
|
1 |
| LGX |
Revised operations manual |
11/14/2017 |
Certified |
11/29/2017 |
|
3 |
| 360T |
360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 |
02/25/2014 |
Certified |
03/12/2014 |
|
1 |
| TRAD |
Amendment to Tradition SEF, Inc. Fee Schedule |
09/06/2018 |
Certified |
09/20/2018 |
|
3 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-09) |
09/18/2020 |
Certified |
10/02/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-12) |
10/30/2020 |
Certified |
11/16/2020 |
|
3 |
| MKAXSEF |
MarketAxess SEF Corporation - Rulebook Amendments - Rules 214, 311, 407 to become effective March 26, 2014 |
02/27/2014 |
Certified |
03/14/2014 |
|
1 |
| BSEF |
Notice to Participants |
06/28/2017 |
Certified |
07/13/2017 |
|
1 |
| NEXSEF |
Issuance of Market Regulation Advisory Notice 2021-05 to Supersede Market Regulation Advisory Notices 2018-01 and 2018-02 and Related Amendments to the Operational Parameters Annex. |
11/17/2021 |
Certified |
12/02/2021 |
|
1 |
| GFISEF |
Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 |
12/05/2013 |
Certified |
12/20/2013 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. |
08/07/2015 |
Certified |
08/21/2015 |
|
4 |
| BGC |
The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
| DWSEF |
DW SEF Market Regulation Advisory Notice re STP and Affirmation |
05/31/2016 |
Certified |
06/14/2016 |
|
2 |
